by Krisan Marotta | Jan 30, 2014 | KBO, SEC Audits
When the SEC Auditor knocks on your door, one item he will request is a spreadsheet containing a trade blotter for the time period under review. The easiest way to retrieve this information is using the Export Wizard. The example above requests different trade...
by Krisan Marotta | Jan 20, 2014 | KBO, SEC Audits
The Securities and Exchange Commission announced it intends to visit all advisors who have never been examined before 2015 ends. The SEC prefers their visits to be a “surprise”, so they typically give you only a 1-2 days to collect your documents. One of...
by Krisan Marotta | Jan 16, 2014 | KBO, SEC Audits
The Securities and Exchange Commission announced it intends to visit all advisors who have never been examined before 2015 ends. Now might be a good time to get your records in order. In my 20+ years of working with PortfolioCenter, I have assisted my managers in many...
by Krisan Marotta | Jan 13, 2014 | KBO, Reporting
Wondering which reports allow the use of indices and targets? As a rule of thumb, you can display an index and/or a target on any report in PortfolioCenter that includes a Time-Weighted Return calculation — which is most of the performance reports. ...
by Krisan Marotta | Dec 27, 2013 | KBO, Reporting
The market value on PortfolioCenter reports frequently differs from the market value on the brokerage statements. In every case, the PortfolioCenter value is more accurate. Here’s why the numbers may not match: Some mutual funds distribute dividends...
